STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marilyn J. Maddick and 03-07714 Kansas City, Missouri Name of Respondents MML Investors Services, Inc. Brady T. Westphal Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Marilyn J. Maddick ("Claimant") was represented by David Mee, Esq., Woska & Hayes, LLP, Kingwood, Texas. MML Investors Ser

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Maynard M. Lapinski and Names of Respondents Edward D. Jones & Co. and Christian W. Baker Case Number: 03-07713 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Maynard M. Lapinski ("Claimant") was represented by Charles M. Penzien, Esq., Seeding Legal Group, P.C., Moun

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Joel Kurtz v. 03-07712 Minneapolis, Minnesota Respondents Stifel Nicholas & Company, Inc., Miller, Johnson, Steichen & Kinnard, Inc., Miller, Johnson & Kuehn Company, Inc., John G. Kinnard & Company, and William L. Toft Nature of Dispute: Customer v. Members, Terminated Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Joel K

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Estate of Thomas H. Allan, through Tamas R. Allan, Personal Representative and Names of Respondents Raymond James Financial Services, Inc., Sterling Financial Advisors LLC, and Mary H. Jochim Case Number: 03-07711 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Customer v. Member, Non-Member and Associated Person REPRESENTATION OF

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Robert T. Lillie and Anne S. Lillie and Respondents Sentra Securities Corporation, Frank A. Badger and Lewis A. Badger Case Number: 03-07708 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Robert T. Lillie and Anne S. Lillie ("Claimants") were represented by Nathaniel R. W

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert T. Berry, Inc., and Robert T. Berry, Jr., individually and as authorized representative of the Thomas David Berry Trust and the Rachael Lynn Berry Trust and Case Number: 03-07707 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Robert T. Be

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deborah C. Donovan, Claimant v. Wells Fargo Investments, LLC (f/k/a Wells Fargo Securities Inc.), Kevin F. Douglas, Edward T. Christiansen, and Christopher T. Kenny, Respondents Case Number: 03-07702 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: In Propria Persona Pleasant Hill, Ca

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07700 Brian Matthew Crowell Names of the Respondents Hearing Site: Atlanta, Georgia Trillium Trading, LLC Daniel Jeremy Balber Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Brian Matthew Crowell, hereinafter referred to as "Claimant", appeared pro se. For Trillium Tradi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the CTIaimant Lynn A. Meier Name of the Respondents Scott & Stringfellow, Inc. Douglas A. Stewart Case Number- 03-07691 Hearing Site- Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. RRPRF.SF.NTATTON OF PARTTF.S Claimant Lynn A. Meier, hereinafter referred to as "Claimant", was represented by W. Scott Greco, Esq., Grec

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vision Securities, Inc., (Claimant) vs. Marblehead Asset Management Corp., John N. Donohue, Lars Muller, and Joseph John Husson, (Respondents) Case Number: 00-01566 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Vision Securities, Inc., hereinafter referred to as "Claimant": Dan Brecher, Esq., Law Offices of Dan Brecher, New York, NY. Respondents,